141 South McCormick Street
In the course of providing service to the customer, the firm will collect non-public personal information about them from the following sources: information provided on account applications and other standard forms (for example, name, address, social security number, assets, types and amounts of investments, transactions, and income); information about the customer’s Independent Financial Group transactions, our affiliates or others including those companies that work closely with the firm to provide the customer with diverse financial products and services (for example, their account balance, payment history, parties to transactions and credit card usage); information the firm receives from consumer reporting agencies (for example, credit worthiness and credit history); information obtained when verifying the information the customer provides on applications or other forms (this may be obtained from current or past employers, or from other institutions where they conduct financial transactions).
Keeping customer information secure is one of the most important responsibilities of financial institutions today. The broker-dealer restricts access to non-public personal information to those employees and agents who need to know that information in order to provide products or services to the customer. The broker-dealer maintains physical, electronic, and procedural safeguards that comply with federal standards to guard all nonpublic personal information.
The firm does not sell, share or disclose customer’s non-public personal information to non-affiliated third party marketing companies. The firm may disclose the information it collects, as described above in the ‘What Types of Non-Public Personal Information Do We Collect about the Customer? section to companies that perform other services on the firm’s behalf, or to other financial institutions with whom the firm has licensing agreements. All of these companies are contractually obligated to keep the information that provided to them confidential and use the information only for the services required and as allowed by applicable law or regulation, and are not permitted to share or use the information for any other purpose. The firm may disclose non-public personal information about the customer under circumstances as permitted or required by law. These disclosures typically include information to process transactions on their behalf, to conduct firm operations, to follow instructions as the customer authorizes, or to protect the security of the firm’s financial records.
In the course of providing services to the customer, the firm is permitted by law to share within its family of affiliated companies’ information about transactions or experiences with the customer (such as account balance or payment history).